Compliance Officer, Compliance Management

CI Financial • Miami, FL

6d • $75,000 - $95,000 • Onsite

About The Position

At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communities they care about. We focus on exceeding expectations, simplifying lives, and establishing legacies that last for generations. We are always looking for talented and motivated individuals to join our team. If you want to work for a company that values your contributions and supports your growth, we would like to meet you.

Requirements

• Bachelor’s degree in finance, business, or a related field.
• 5–7 years of compliance experience within the wealth management or private fund industry.
• Strong knowledge of SEC investment advisory regulations and reporting requirements.
• Excellent analytical, research, and problem‑solving skills.
• Proficiency in Microsoft Excel, Word, PowerPoint, and familiarity with XML formatting.
• Strong written and verbal communication abilities.
• Demonstrated ability to work collaboratively and lead compliance initiatives.

Responsibilities

• Regulatory Reporting Prepare and submit regulatory filings—including SEC Forms 13F, 13H, Form PF, Form NPX and NFA reports, and applicable DOL reports—ensuring accuracy, timeliness, and full compliance with regulatory standards. Create process and standards for ongoing submitting filings.
• Data Management Collaborate with cross‑functional teams to gather and validate data from multiple sources. Maintain effective data‑validation controls to ensure completeness and accuracy for reporting purposes.
• Compliance Monitoring Conduct ongoing reviews and audits of reporting processes to confirm adherence to regulatory requirements and internal policies. Promptly identify, investigate, and remediate compliance issues or discrepancies.
• Regulatory Updates Monitor regulatory changes and industry developments and communicate relevant updates proactively to key stakeholders.

Benefits

• 401(k) Plan with Employer Matching
• Four Medical Plan options that is generously subsidized by Corient
• Employer paid Dental, Vision & Life and AD&D Insurance
• Employer paid Short-term & Long-term Disability
• Paid Maternity & Parental Leave
• Flexible Spending Accounts & Health Savings Accounts
• Dependent Care FSA
• Commuter & Transit FSA
• Corporate Discount Program - Perkspot
• Training Reimbursement
• Paid Professional Designations
• Giving back to the community - Volunteer days

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level